1 A penalty may be assessed against an individual only for a willful violation. Generally, when two or more violations of these regulations are discovered with respect to a single locomotive that is used by a railroad, the appropriate penalties set forth above are aggregated up to a maximum of $16,000 per day. However, a failure to perform, with respect to a particular locomotive, any of the inspections and tests required under subpart B of this part will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on that locomotive. Moreover, the Administrator reserves the right to assess a penalty of up to $105,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

Failure to observe any condition for movement set forth in § 229.9 will deprive the railroad of the benefit of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the locomotive at the time of movement. Failure to comply with § 229.19 will result in the lapse of any affected waiver.

Subpart A—General

229.7Prohibited acts: Safety deficiencies not governed by specific regulations: To be assessed on relevant facts

$1,000-5,000

$2,000-7,500

229.9Movement of noncomplying locomotives

(1)

(1)

229.11Locomotive identification

1,000

2,000

229.13Control of locomotives

2,500

5,000

229.15Remote control locomotives

2,500

5,000

229.17Accident reports

2,500

5,000

229.19Prior Waivers

(1)

(1)

Subpart B—Inspection and tests

229.21Daily inspection:

(a)(b):

(1) Inspection overdue

2,000

4,000

(2) Inspection report not made, improperly executed, or not retained

1,000

2,000

(c) Inspection not performed by a qualified person

1,000

2,000

229.23Periodic inspection General:

(a)(1) Inspection overdue

2,500

5,000

(a)(2) Inspection performed improperly or at a location where the underneath portion cannot be safely inspected

2,500

5,000

(b)(1) Inspection overdue

2,500

5,000

(b)(2) Inspection overdue

2,500

5,000

(c) Inspection overdue

2,500

5,000

(e):

(1) Form missing

1,000

2,000

(2) Form not properly displayed

1,000

2,000

(3) Form improperly executed

1,000

2,000

(f) Replace Form FRA F 6180.49A by April 2 or July 3

(g) Secondary record of the information reported Form FRA F 6180.49A

1,000

2,000

229.25Tests: every periodic inspection:

(a) through (d)(4) and (e) and (f) Tests

2,500

5,000

(d)(5) Ineffective maintenance

8,000

16,000

229.27Annual tests

2,500

5,000

229.29Biennial tests

2,500

5,000

229.31:

(a) Biennial hydrostatic tests of main reservoirs

2,500

5,000

(b) Biennial hammer tests of main reservoirs

2,500

5,000

(c) Drilled telltale holes in welded main reservoirs

2,500

5,000

(d) Biennial tests of aluminum main reservoirs

2,500

5,000

229.33Out-of-use credit

1,000

2,000

Subpart C—Safety Requirements

229.41Protection against personal injury

2,500

5,000

229.43Exhaust and battery gases

2,500

5,000

229.45General condition: To be assessed based on relevant facts

1,000-5,000

2,000-7,500

229.46Brakes: General

2,500

5,000

229.47Emergency brake valve

2,500

5,000

229.49Main reservoir system:

(a)(1) Main reservoir safety valve

2,500

5,000

(2) Pneumatically actuated control reservoir

2,500

5,000

(b)(c) Main reservoir governors

2,500

5,000

229.51Aluminum main reservoirs

2,500

5,000

229.53Brake gauges

2,500

5,000

229.55Piston travel

2,500

5,000

229.57Foundation brake gear

2,500

5,000

229.59Leakage

2,500

5,000

229.61Draft system

2,500

5,000

229.63Lateral motion

2,500

5,000

229.64Plain bearing

2,500

5,000

229.65Spring rigging

2,500

5,000

229.67Trucks

2,500

5,000

229.69Side bearings

2,500

5,000

229.71Clearance above top of rail

2,500

5,000

229.73Wheel sets

2,500

5,000

229.75Wheel and tire defects:

(a),(d) Slid flat or shelled spot(s):

(1) One spot 21/2″ or more but less than 3″ in length

2,500

5,000

(2) One spot 3″ or more in length

5,000

7,500

(3) Two adjoining spots each of which is 2″ or more in length but less than 21/2″ in length

2,500

5,000

(4) Two adjoining spots each of which are at least 2″ in length, if either spot is 21/2″ or more in length

5,000

7,500

(b) Gouge or chip in flange of:

(1) more than 11/2″ but less than 15/8″ in length; and more than 1/2″ but less than 5/8″ in width

2,500

5,000

(2) 15/8″ or more in length and 5/8″ or more in width

5,000

7,500

(c) Broken rim

5,000

7,500

(e) Seam in tread

2,500

5,000

(f) Flange thickness of:

(1) 7/8″ or less but more than 13/16″

2,500

5,000

(2) 13/16″ or less

5,000

7,500

(g) Tread worn hollow

2,500

5,000

(h) Flange height of:

(1) 11/2″ or greater but less than 15/8″

2,500

5,000

(2) 15/8″ or more

5,000

7,000

(i) Tire thickness

2,500

5,000

(j) Rim thickness:

(1) Less than 1″ in road service and 3/4″ in yard service

2,500

5,000

(2) 15/16″ or less in road service and 11/16″ in yard service

5,000

7,500

(k) Crack of less than 1″

5,000

7,500

(1) Crack of less than 1″

2,500

5,000

(2) Crack of 1″ or more

5,000

7,500

(3) Break

5,000

7,500

(l) Loose wheel or tire

5,000

7,500

(m) Welded wheel or tire

5,000

7,500

229.77Current collectors

2,500

5,000

229.79Third rail shoes and beams

2,000

4,000

229.81Emergency pole; shoe insulation

2,500

5,000

229.83Insulation or grounding

5,000

7,500

229.85Door and cover plates marked “Danger”

2,500

5,000

229.87Hand operated switches

2,500

5,000

229.89Jumpers; cable connections:

(a) Jumpers and cable connections; located and guarded

2,500

5,000

(b) Condition of jumpers and cable connections

2,500

5,000

229.91Motors and generators

2,500

5,000

229.93Safety cut-off device

2,500

5,000

229.95Venting

2,500

5,000

229.97Grounding fuel tanks

2,500

5,000

229.99Safety hangers

2,500

5,000

229.101Engines:

(a) Temperature and pressure alarms, controls, and switches

2,500

5,000

(b) Warning notice

2,500

5,000

(c) Wheel slip/slide protection

2,500

5,000

229.103Safe working pressure; factor of safety

2,500

5,000

229.105Steam generator number

1,000

1,500

229.107Pressure gauge

2,500

5,000

229.109Safety valves

2,500

5,000

229.111Water-flow indicator

2,500

5,000

229.113Warning notice

2,500

5,000

229.114Steam generator inspections and tests

2,500

5,000

229.115Slip/slide alarms

2,500

5,000

229.117Speed indicators

2,500

5,000

229.119Cabs, floors, and passageways:

(a)(1) Cab set not securely mounted or braced

2,500

5,000

(2) Insecure or improper latching device

2,500

5,000

(b) Cab windows of lead locomotive

2,500

5,000

(c) Floors, passageways, and compartments

2,500

5,000

(d) Ventilation and heating arrangement

2,500

5,000

(e) Continuous barrier

2,500

5,000

(f) Containers for fuses and torpedoes

2,500

5,000

(g) Failure to equip

2,500

5,000

(h) Failure to maintain

2,500

5,000

(i) Failure to equip

2,500

5,000

229.121Locomotive Cab Noise:

(a) Performance Standards

(1) Failure to meet sound level

5,000

7,500

(2) Improper maintenance alterations

2,500

5,000

(3) Failure to comply with static test protocols

2,500

5,000

(b) Maintenance of Locomotives

(1) Failure to maintain excessive noise report record or respond to report as required